NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Investor Protection: Custodians safeguard client assets.
KYC Requirements: Conduct KYC for clients per SEBI norms.
Penalties for Violations: Fines or suspension for non-compliance.
Record Keeping: Maintain records for five years.
SEBI Oversight: Monitors custodian activities and compliance.
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NISM 3A Securities Intermediaries Compliance
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